With developing regulatory requirements and risks involved in the financial services industry, broker-dealers need to know the latest developments in the SEC, FINRA and ERISA spaces.
Drinker Biddle’s Broker-Dealer Law Blog provides practical insights on litigation, regulatory, compliance and fiduciary issues impacting broker-dealers. Contributors include experienced members of the firm’s ERISA, FINRA Arbitration, and SEC and Regulatory Enforcement Teams, who regularly counsel and defend broker-dealers.
Our goal is to give readers a better understanding of how new rules, including the DOL Fiduciary Rule and directives from the SEC, FINRA and the DOL, will affect their businesses as the issues evolve.
We encourage you to subscribe to the blog to receive the latest updates.
Recent posts include:
- Second Circuit Makes Class Certification in Securities Cases Easier
- Householding Accounts – Avoiding a Prohibited Transaction
- SEC Issues MiFID II No-Action Relief and Allays Various Cross-Border Concerns
- What Effect, if Any, Will the DOL Fiduciary Duty Rule Have on FINRA Arbitrations?
- WSPs Under the DOL Fiduciary Rule
- The SEC’s Back In the Fiduciary Regulation “Game”
- Required Disclosures After the DOL Fiduciary Rule
- Political Contribution Limitations Now Also Mandatory for Broker-Dealers
- The SEC’s 2017 Cybersecurity Alert and New Cyber Unit
- The DOL’s Best Interest Contract Requirement: Effect on Litigation Against Broker-Dealers
- Fiduciary Rules for the Transfer of IRAs